As an individual investor, I will OBJECT too much regulatory requirements on investors. It will NOT protect small investors, instead of creates confusion and overhead (which will be added to investors in some way). Most stocks aren't less risky than leveraged and inverse funds are.
Any proposal that testing specialized investment knowledge, demonstrate a high net worth and go though a
The proposed regulations to restrict individual investors' ability to buy leveraged and inverse funds are not acceptable. We do not need anyone to determine which investments we can consider and purchase. We are capable of doing the necessary due diligence and do not need your supervision other than to make sure we receive factual information.
Any investment available to some investors
I'm just a lower-middle class investor. For the most part, the general public should be allowed to invest in inverse and leveraged funds as long as the companies providing them aren't out to scam the public with unreasonable and/or suspicious tricks. If there is something unusual about a fund, a brief-to-the-point and clear explanation, avoiding double-negative language,
I oppose the proposed rule regarding increased restrictions on trading certain funds / securities. I, and other members of the public, am capable of making investment decisions and can suitably analyze the benefits / drawbacks to various investments. Taking risks is a fundamental part of the human experience, and placing further limits on the kinds of people who can trade certain products will
Ive been well informed by my stock broker with written documents and explanation about the risk of leveraged and inverse funds/ETFs. Therefore, I DO have the knowledge and understanding about the risks/rewards regarding the said funds/ETFs. Thus, I would like the freedom to trade inverse and leveraged ETFs since they enable me the flexibility to profit from both rising or falling or even flat
As a professional investor with 15 years on Wall Street and another 8 years at the US Treasury, I find this stretch to be over-regulation. Investors should have the ability to choose investments and while limiting investment choices makes a sense for some investors, broadening the scope to require additional hurdles and an regulator review is an over stretching. Investing is risky. Investors are
As a long time investor the idea that I can not understand the risks of complex and leveraged funds is ridiculous. I regularly use these type assets to hedge against things like the current rise in interest rates and do not require the government to hold my hand while I use them. The market is not a FDIC insured bank account and investors are regularly informed that they can lose money and if
The tools of an investor to offset risk through the use of some of the inverse or short funds could substantially impact their ability to mitigate losses. Investors need to understand the risks involved in EVERY product, including publicly traded stocks. ALL investments carry risk, every single one. The Boards ability to define who is knowledgeable or not is overstepping their scope of regulation
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 23, 2023. Please be advised that the TRACE system will close early on Friday, November 24, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you
This proposal is just another attempt to restrict the options, retail investors have to invest in the market. Large institutions have always had a clear advantage, privy to information first, flash trading etc. Restricting retail investor's ability to short or long the markets using these types of vehicles is, once again giving the institutions the upper hand in playing in a field they
